Reviewing Ad Hoc Certifications

Ad Hoc Certifications are generated automatically, driven by manual changes to the Disclosure Profile followed by the completion/submittal of the Disclosure Profile.  When a discloser in any category makes an ad-hoc update to their disclosure profile, they execute the ‘Complete Disclosure Profile Update’ activity, and there are no existing non-Research Certifications (i.e., Institutional COI Certifications) in a non-final state (a state other than Withdrawn, No Review Required, or Review Complete), then an Ad Hoc Update Certification is generated. 

 Upon creation, the Ad Hoc Certification routes to “Under Review" based upon the SFI Threshold / Triage Logic or “No Review Required” if triage logic is not met. 

1. When an Ad Hoc Certification routes for review, the VP, Dean, or Designee associated with the Discloser will receive a notification/email (example below).
   
   

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2. Login as the VP, Dean, or Designee (associated with the Discloser whom you submitted as in the prior exercise) via SSO.    

3. Click on the link to the Certification in the notification/email and login as a VP, Dean, or Designee via SSO or login as a VP, Dean, or Designee and navigate to COI > Certifications > In Review Tab to locate Certifications in review and access the Certification Workspace. 

   1. Ad Hoc Certifications will only route to the Under Review state if the discloser completed their Disclosure Profile with answers that drive SFI Threshold / Triage Logic.  Specifically, the Ad Hoc Certification will route for review if the discloser has at least one Entity Disclosure entered on the Entity Disclosure Information view table with Total Value of $0 or more or Days of $0 or more
      
      

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4. If the assigned user is not the correct VP, Dean, or Designee for this review, the person can request re-assigning by clicking Assign Reviewer. 
   
   

   1. In the pop-up box, the user can assign to someone in the COI office and leave a comment about the appropriate reviewer: 
      
      

   2. When the PAR is routed to the COI office, they will: 

      1. Put in a request for the WRAP Team to update the Requestor’s Employer to add an additional COI reviewer 

      2. Use the same process above to Assign the PAR Reviewer to the correct individual as noted above. 

5. The VP, Dean, or Designee may execute the Submit My Review activity on the left sidebar.  Alternatively, a person in the COI Office, with the user role of COI Administrator, can also bypass this review by executing this activity on behalf of the VP, Dean, or Designee.    
   
   

6. Upon execution of the Submit My Review activity by the VP, Dean, or Designee, the next step in workflow will be defined by whether the discloser is in the Research category and whether the discloser disclosed a relationship with a foreign organization: 

   1. If the requestor is NOT in the Research category and did not disclose an activity with a foreign organization, the review will complete after the VP, Dean, or Desginee review. 

   2. If the discloser is in the Research category, the Ad Hoc Certification will be routed to the COI Office for additional review (see step 7 below).

   3. If the discloser is NOT in the Research category but disclosed an activity with a foreign organization, the PAR will be routed to the Export Control Office for additional review (see step 14 below). 
      
      

7. COI OFFICE REVIEW - When the discloser is in the Research category, COI Reviewers in the COI Office will receive a notification indicating that the Certification requires a reviewer to be assigned (see example below).   
   
   

8. Any Staff associated with the COI Office may execute the Assign Reviewer activity on the left sidebar to assign or re-assign the Certification, or they may review it themselves upon being assigned.   
   
   

     

   1. If you assign a Certification to a person in the Admin Office that person will receive a Notification. 

   2. If a Staff in the Admin Office has the COI Administrator user role, they do not need to execute the Assign Reviewer activity in order to Submit a Review for a given Certification.     

9. Run two (2) reports to identify active research projects for discloser:

   1. All Awards with Investigators Report in HRS Grants (that report is empty) 

   2. Report in Legacy IRB system (refer to excel)  
      
      

10. Review the Certification SmartForm by clicking Review Certification.  
    
    

11. Review the Investigator’s financial interests compared to the Research projects. If you determine that one of the research projects is related to an SFI: 

    1. If the related project is a grant, ask the Grants specialist to execute ‘Send to COI’ on the Award in Grants. This will create a Research Certification for that award and the Research COI review can be documented on that certification (see also Test Script 3) 

    2. If the related project is an IRB project, create a new Triggering Event for the IRB project (see also Test Script 1). This review will be documented on the related Research Certification (see also Test Script 3) 

    3. To review the Research Certifications: 

       1. Click on COI > Certifications > In Review tab.   
          
          

       2. Search for the Certification (“CERT”) / related research project that required review in the Research Portfolio Review, by filtering for Related Research Project = % followed by the name.  

       3. Click on the CERT ID Link to navigate to the CERT Workspace.  

       4. Conduct and submit a new Research Certification review, as needed, if the Research Certification is in the “Under Review” state.   

        

12. If additional review is needed by the Export Control Office because of foreign activity or a foreign organization, you can assign review by clicking Manage Ancillary Reviews (see Testing Scenario 9 for details on completing this review). 
    
    

13. When Research Certifications have been created for all related Research projects, execute the Submit Review activity to record a relatedness and conflict review.   
    
    

    1. We recommend uploading the reports generated in step 8 to document the review. 

14. Export Control Office Review - ECO will receive a notification
    
    

15. Any Export Control Office Member may execute the Assign Reviewer activity on the left sidebar to assign or re-assign the PAR. 
    
    

    1. If you assign a Certification to a person in the Admin Office that person will receive a Notification.

16. Review the Certification SmartForm by clicking Review Certification.  
    
    

17. When Research Certifications have been created for all related Research projects, execute the Submit Review activity to record a relatedness and conflict review.